Galera Therapeutics (GRTX) Form 3 Galera Therapeutics / AG NOVARTIS ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Novartis Bioventures Ltd

(Last) (First) (Middle)

C/O NOVARTIS VENTURE FUND

FORUM 1 - 1.32, LICHTSTRASSE 35

(Street)

BASEL V8 CH-4056

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/06/2019

3. Issuer Name and Ticker or Trading Symbol
Galera Therapeutics, Inc. [ GRTX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series A Preferred Stock	(2)	(2)	Common Stock	1,779,864	(2)	I	See footnote(1)
Series B Preferred Stock	(2)	(2)	Common Stock	1,423,891	(2)	I	See footnote(1)
Series C Preferred Stock	(2)	(2)	Common Stock	89,311	(2)	I	See footnote(1)

1. Name and Address of Reporting Person^*

Novartis Bioventures Ltd

(Last) (First) (Middle)

C/O NOVARTIS VENTURE FUND

FORUM 1 - 1.32, LICHTSTRASSE 35

(Street)

BASEL V8 CH-4056

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

NOVARTIS AG

(Last) (First) (Middle)

LICHTSTRASSE 35

(Street)

BASEL V8 CH-4056

(City) (State) (Zip)

Explanation of Responses:

1. Novartis Bioventures Ltd. Is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.

2. Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock on a 0.197763-for-one basis at the holder's election and has no expiration date. The preferred stock will automatically convert into common stock upon the closing of the Issuer's initial public offering.

Remarks:

Exhibit 24 - Power of Attorney

	Novartis Bioventures Ltd., By: /s/ Bart Dzikowski, Name: Bart Dzikowski, Title: Secretary of the Board, By: /s/ Stephan Sandmeier, Name: Stephan Sandmeier, Title: Authorized Signatory	11/06/2019
	Novartis AG, By: /s/ Bart Dzikowski, Name: Bart Dzikowski, Title: Attorney-in-Fact, By: /s/ Stephan Sandmeier, Name: Stephan Sandmeier, Title: Attorney-in-Fact	11/06/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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